A recent investor complaint against Roseville, California financial advisor Matt Nadeau (CRD# 4637541) reached a six-figure settlement. Financial Industry Regulatory...
Read MoreRecent Blog Posts
AG Saab: GWG L Bond Allegations against The Fig Group
Dallas, Texas financial advisor AG Saab (CRD# 408501) is involved in an investor complaint concerning purchases of GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Sunbelt Securities. He was previously registered with The Fig Group in Dallas.
Paul Meyer: Did RBC Advisor Make Unauthorized Trades?
Paul Meyer (CRD# 3062534), an advisor based in Minnetonka, recently received investor complaints alleging he engaged in misconduct that resulted in losses. Records maintained by the Financial Industry Regulatory Authority, a private corporation overseeing its member broker-dealer firms, show that he is a broker and an investment advisor with RBC Capital Markets.
Rene Castro: Did Upland Advisor Sell Unsuitable GWG L Bonds?
A recent investor complaint against Upland, California financial advisor Rene Castro (CRD# 2559410) alleged that he recommended unsuitable GWG L bonds. Financial Industry Regulatory Authority records show that he is a broker with Great Point Capital in Chicago and an investment advisor with Retirement Wealth Management in Upland.
Edward Yoon: Investors Complain About Ex-First Allied Advisor
Recent investor complaints against Pasadena financial advisor Edward Yoon (CRD# 2408137) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered with Cetera Advisors and Cetera Investment Advisers, and that he has been a representative of Harvest Financial. He is also registered with the firm’s offices in Rancho… Read More »
Private Placement Complaint Against Bill Braun, Boca Raton Advisor
Bill Braun (CRD# 1271500), a financial advisor with B. Riley Wealth Management, has received multiple investor complaints alleging he recommended unsuitable investments and engaged in other forms of misconduct. Records provided by the Financial Industry Regulatory Authority show that he is a broker and an investment advisor based in Boca Raton, Florida.
Clinton Curtright: New Investor Complaint Against San Diego Advisor
A new investor complaint against Morgan Stanley advisor Clinton Curtright (CRD# 5921560) alleges he provided misleading information and violated an important securities industry rule. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in San Diego, California.
Mike Brinton: Apollon Wealth Denies Claim Against Nashville Advisor
Apollon Wealth Management advisor Mike Brinton (CRD# 1565431) recently received an investor complaint alleging six-figure damages. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former Zermatt Securities broker, who is also an investment advisor with Terra Wealth, is based in Nashville, Tennessee.
Stu Pearl: Unauthorized Trading Complaint Against Racine Advisor
A new investor complaint against International Assets Investment Management advisor Stu Pearl (CRD# 1500833) alleges unauthorized trading. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former David A. Noyes & Company broker is currently based in Racine, Wisconsin.
GWG Complaint Against McDaniel Corporation’s Craig McDaniel
An investment in GWG Holdings forms the basis of a recent investor complaint against Craig McDaniel (CRD# 1087979). Financial Industry Regulatory Authority records show that the Columbia, South Carolina advisor is a representative of The McDaniel Corporation, which offers securities through Capital Investment Group.
Steve Kwan: Austin Advisor Sanctioned over GPB Auto Sales
Earlier this month, securities regulators in Texas sanctioned Insight Wealth Management advisor Steve Kwan (CRD# 3183681). According to records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission, the Austin, Texas representative was suspended in connection with allegations he sold unsuitable investments in GPB Automotive.
